I. Periodic Review

Who receives a review: All long-term faculty members employed by Washington University at the Instructor and Assistant Professor levels on all tracks have an annual review. This policy does not apply to fellows who are given instructor level appointments. These reviews will occur in the department in which the faculty member has the primary appointment. Associate Professors have a review at least every two years, and Full Professors have a review at least every three years.

Elements of the review: The key elements of the review are based on the faculty member’s track, and include:

  • Assuring that the faculty member understands his/her track, rank, and tenure status and the compensation policy of the department.
  • Assuring that the faculty member and Department Head are in agreement about the proper allocation of the faculty member’s effort with respect to investigation, clinical service, teaching, and other service.
  • Assessment of whether the faculty member’s needs are being met with regard to mentoring and other elements required for professional productivity.
  • Advice regarding career development, including acquisition of required skills, society memberships, making appropriate contacts.
  • Assessment of the faculty member’s research program (especially for those faculty members on the Investigator Track).
  • Assessment of the quantity and quality of clinical activities (especially for those faculty members on the Clinician Track).
  • Assessment of quantity and quality of teaching. This may include many ways of contributing to the teaching mission of the School of Medicine.
  • Assessment of administrative and other service contributions to the Department, other Departments, the School of Medicine, the faculty member’s academic community and the lay community.
  • Assessment of the faculty member’s progress towards promotion to the next academic rank (within the guidelines set for the appropriate track).
  • Agreement on goals until the next scheduled review.

Format of review: A written summary of the review is required. This can be a textual summary or can be done using a standardized form. One or more prototype forms will be made available by the Office of Faculty Affairs. This form will include a section designed to help faculty organize their accomplishments, and a section to be completed by the reviewer. Departments may elect to use the form, modify it, or not use a form at all. The form will also be made available to all faculty members who may choose to use it individually, even if use is not a departmental requirement. After the review, the written departmental review will be signed by the reviewer.

Access to the review document: Faculty members will be given a copy of the signed review summary or form. They also have the right to review copies of past review documents that are kept in a Departmental file. The right to access documents from past reviews applies only from the time of implementation of this policy forward. This does not imply a right to review other material that might be in that file.

Who performs the review: Reviews will be performed by the Department Head or a designee, typically the Division or Section chief.

II. Interim appraisal

Who receives an interim appraisal: Each Assistant Professor on all tracks will have a formal review with the Department Head 3-4 years after attaining the rank of Assistant Professor.

Elements of the interim appraisal: This evaluation is typically more detailed than the annual review, but will contain many of the same elements as the annual review. This appraisal is designed to provide specific feedback to the faculty member about progress towards promotion and, for faculty on the Investigator Track, towards tenure. The interim appraisal must also include consideration of the appropriateness of the faculty member’s academic track. The Department Head typically should include senior faculty from within and sometimes outside of the Department in this appraisal.

Format of the interim appraisal: A written report of the appraisal will be produced and will be signed by the Department Head and the faculty member.

Access to the interim appraisal document: Faculty members will be given a copy of the signed appraisal document.

Who performs the interim appraisal: Interim appraisals will be performed by the Department Head.

III. Periodic Reviews and Interim Appraisals

Timing: Faculty periodic reviews and interim appraisals may be performed any time throughout the academic year. The only deadline will be June 30 when the list of periodic reviews and interim appraisals should be forwarded to the Office of Faculty Affairs.

Faculty response: Faculty members may respond to the periodic review or interim appraisal in writing if they are not in agreement with the review or appraisal. The faculty member’s response must be submitted to the Department Head within 90 days after receipt of the written review or appraisal and will be maintained with the faculty member’s file.

Conflict resolution: Multiple options exist for resolution of conflicts regarding periodic reviews and interim appraisals. If a review has been carried out by an individual other than the Department Head, the first opportunity for resolution is through the Department Head. If that process is unsuccessful, or if the Department Head performed the review or appraisal, the faculty member may submit a written complaint, specifying in detail the grounds for the complaint, to the Associate Dean for Faculty Affairs within six months of the review or appraisal. The Associate Dean for Faculty Affairs will then conduct a non-adversarial mediation that will typically involve communication with the reviewer and the Department Head. If conflict persists in spite of such efforts at mediation, the faculty member may pursue a formal grievance through the Medical School Faculty Rights Committee.

Oversight: The Office of Faculty Affairs will oversee compliance with the periodic review and interim appraisal process. By June 30 each year, each department will submit to the OFA a list of all faculty members eligible for periodic reviews or interim appraisals during the past academic year and the dates or months in which these evaluations took place. The Dean will report annually at the September meeting of the Executive Faculty and the ECFC regarding compliance by each department.

Approved by Executive Faculty October 6, 2004 [amended 2 November, 2005]

This review policy will be implemented beginning October 6, 2004.